Course Curriculum
- Chapter 1: Overview of Market Participants and Market Structure
- Chapter 2: Overview of Regulation
- Chapter 3: Equity Securities
- Chapter 4: An Introduction to Debt Instruments
- Chapter 5: Types of Debt Instruments
- Chapter 6: Investment Returns (Section 3.1.2 from SIE)
- Chapter 7: Packaged Products (Section 2 from SIE)
- Chapter 8: Variable Contracts and Municipal Fund Securities
- Chapter 9: Alternative Investments (section 2)
- Chapter 10: Option Fundamentals
- Chapter 11: Offerings
- Chapter 12: Orders and Trading Strategies (Section 3.1.1)
- Chapter 13: Settlement and Corporate Action (Section 3.1.3-3.1.4)
- Chapter 14: Customer Accounts (3.2.1 - 3.2.2)
- Chapter 15: Compliance Considerations (Section 3.2.3 - 3.2.4 - 3.2.5)
- Chapter 16: Prohibited Activities
- Chapter 17: SRO Requirements for Associated Persons
- Chapter 18: Employee Conduct and Reportable Events
- Chapter 19: Economic Factors
- Chapter 20: Investment Risks
- PRACTICE EXAM